SEC Form 4 · accession 0001498301-16-000180
Ascena Retail Group, Inc. · ASNA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John E Pershing
Officer — EVP, Chief HR Officer
Period of report
Sep 29, 2016
Accepted (ET)
Sep 30, 2016 · 3:45 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001498301
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| CommonF1 | Sep 29, 2016 | M | 2,552 | — | A | 17,950 | D | |
| Common | Sep 29, 2016 | F | 877 | $5.47 | D | 17,073 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF2,F1,F3 | — | Sep 29, 2016 | M | 2,552 | D | — | — | Common | 2,552 | 5,104 | D |
Explanation of responses
- F1Restricted stock units convert into common stock on a one-for-one basis.
- F2Restricted stock units issued under the Company's 2010 Stock Incentive Plan.
- F3On September 29, 2015, the reporting person was granted 7,656 restricted stock units, vesting in three equal annual installments beginning on the first anniversary of the grant date.